Date authorised
1 April 2013
Companies House
03023493
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    3
    Pancras Square
    London
    N1C 4AG
    UNITED KINGDOM
    Phone
    +4401303771111
  • Complaints Contact

    3
    Pancras Square
    London
    N1C 4AG
    UNITED KINGDOM
    Phone
    +4401303771111

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Authorised to Operate

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

    For Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Stockbroking

    For Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Kyle Geoffrey Newstead

    IRN KGN00001

    • CF21 Investment Adviser (23 May 2002 to 25 May 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 23 May 2002)
  • Lance Henry Lowe Batchelor

    IRN LHB01019

    • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2020)
    • CF1 Director (3 Jul 2014 to 8 Dec 2019)
  • Lisa Marie Parrott

    IRN LMP01092

    • CF11 Money Laundering Reporting (2 Apr 2018 to 8 Feb 2019)
  • Lorna Jane Aspin

    IRN LJA00011

    • CF30 Customer (29 Jul 2008 to 31 Jan 2009)
  • Lynda Hay Greenshields

    IRN LHG01012

    • CF29 Significant management (3 Jun 2011 to 3 Oct 2014)
  • Lynn Fournier

    IRN LXF01405

    • CF28 Systems and controls (15 Oct 2018 to 8 Dec 2019)
  • Mark Huggins

    IRN MXH01865

    • CF1 Director (22 Jun 2011 to 10 Feb 2014)
    • CF3 Chief Executive (22 Jun 2011 to 10 Feb 2014)
  • Mark James Watkins

    IRN MXW18356

    • SMF3 Executive Director (since 3 May 2024)
    • CF28 Systems and controls (4 Nov 2019 to 18 Nov 2019)
    • CF11 Money Laundering Reporting (4 Nov 2019 to 18 Nov 2019)
  • Marta Ana Gonzalez Zuinaga

    IRN MXG00648

    • [FCA CF] Significant management (8 Sep 2023 to 9 Apr 2026)
  • Maurice Edward Hatch

    IRN MEH01047

    • CF2 Non Executive Director (1 Dec 2001 to 15 Jan 2003)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • Saga Membership Ltd (no longer appointed)

    FRN 788353 · Appointed 7 Sep 2017 · Until 13 Oct 2022

  • ST&H Limited (no longer appointed)

    FRN 455489 · Appointed 8 Jun 2017 · Until 8 Dec 2021

  • ST&H Limited (no longer appointed)

    FRN 455489 · Appointed 3 Aug 2006 · Until 16 Jun 2014

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.